AimPoint Pension
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Regional Vice President of Sales The Retirement Plan Company
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Compass
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Loan & Distribution Specialist AimPoint Pension
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Bates & Company, Inc.
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SEC Adopts Broker-Dealer Standard of Care and Guidance on Investment Advisers' Fiduciary Standard
Shearman & Sterling LLP [Guidance Overview] June 28, 2019
"The Commission's interpretation first outlines the framework of the fiduciary duty that investment advisers owe to their clients ... Specific obligations that flow from the adviser's fiduciary duty depend upon what functions the adviser has agreed to assume. The guidance notes, however, that the contract between the client and the adviser cannot negate or waive the adviser's federal fiduciary duty, regardless of the sophistication of the client."
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